N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02073 Olde Discount Corp., claimant vs. Michael G. Gray, respondent. ATTORNEYS: For claimant appeared Steve D. Carby, Esq. - Detroit, MI. Respondent did not appear. DATE FILED: 4/25/97 CASE SUMMARY: Claimant alleged outstanding debit balance. Claim Data Award Data Claim: $2,069.01 Award: $2069.01 Interest: Requested Interest: $120.67 Atty Fees

PUG. 18.1998 10:59AM NP6D BOCA _ NO. 014 P. 12 N.A.S.D. AWARD NASP Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jose A. Gonzalez and Carlos A. Gonzalez, Individually and Jointly NASD CASE NO. 97-02072 Erik Betas and Program Trading Corp. REPRESENTATION For Claimants: Richard R. Logsdon, Esq., Qeanrater, Florida and Allan J. Fetor, Esq, of Fedor & Fwtor, Largo, Florida, For Respondents: Terry R. W

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Charles S. Lichter v. Name of Respondents James Hock, Leonard Spydell, Chris Rix, and Spectrum Securities, Inc. Arbitration No. 97-02066 For Claimant: For Respondents: Leonard Spydell and Spectrum Securities, Inc Statement of Claim filed: REPRESENTATION Stephen E. Danz, Esq. Danz & Gerber Sherman Oaks, California and

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gerald Petrizzi 97-02057 Names of Respondents Corporate Securities Group, Inc. Jaime Bardia REPRESENTATION For Claimant Gerald Petrizzi ("Claimant") appeared Michael A. Stratton, Esq. of the law firm Koskoff, Koskoff & Bieder, P.C., located in Bridgeport, Connecticut. For Respondents Corporate Securities Group, Inc. ("CSG") and Jaime Bardia ("Bardia"),

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02056 Brian G. and Mary G. Sanford, JTWROS, claimants v. Michael A. Prestia and J.W. Barclay & Company Inc., respondents. ATTORNEYS: Claimants appeared pro se - Crystal Lake, IL. Respondent MichaeJ A. Prestia appeared pro se - Boca Raton, FL. For Respondent J.W. Barclay & Company, Inc. appeared Brian H. Reis, Esq. - New York, NY. DATE FILED: 4/24/97 CA

AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Richard Akbar Salahuddin vs. 97-02054 Name of Respondents LaJolla Capital Corporation William Francis Knight Emmet A. Larkin Co., Inc. Mark Howard REPRESENTATION Claimant Richard Akbar Salahuddin ("Claimant") appeared pro se in this matter. For Respondent LaJolla Capital Corporation ("LaJolla") appeared James Weaver, Esq., located in San Die

AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimants Richard H. Peairs Lillian G. Peairs v. 97-02050 Name of Respondents Securities America, Inc. Julius Brauner Susan Brauner REPRESENTATION For Claimants: The Peairs represented themselves. For Respondents: Lowell H. Haky, Esq., Zelle & Larson, San Francisco, California. CASE INFORMATION The Statement of Claim was filed on or about: April 24,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Waseem Mehmood, Respondent Case Number: 00-01963 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Thomas M. Robins, III, Esq. Frandzel Robins Bloom & Csato, L.C San Francisco, California For Respondent: Waseem Mehmood In Pro Per Tarzana, California CASE INFORMATION State

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Irene Saunders Case No. vs. 97-02047 Name of Respondents Smith Barney, Inc. Robert J. Ninfo REPRESENTATION Claimant Irene Saunders ("Claimant") appeared pro se. For Respondents Smith Barney, Inc. ("Smith Barney") and Robert J. Ninfo ("Ninfo"), collectively referred to as "Respondents", appeared Ann Parry, Esq., in-house counsel for Smith Barney.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between o The Boston Group, L.P. 97-02046 Name of Resoondentf s> James Piro J.P. Enterprises Moses Greenfield REPRESENTATION For Claimant The Boston Group, L.P. ("Claimant") appeared Eric S. Hutner, Esq., in-house counsel for Claimant. Respondent James Piro ("Piro") did not enter an appearance in this matter. Respondent J.P. Enterprises ("J.P. Enterprises") did not ente